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Stephen C. Pechloff

PEAK6 CAPITAL MANAGEMENT LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5209773
SP

Professional summary

Stephen Craig Pechloff is a registered financial professional currently at PEAK6 CAPITAL MANAGEMENT LLC located in Chicago, Illinois.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 2 firms and has passed the Series 57TO, SIE, Series 56 and Series 44 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Craig Pechloff's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 7, 2014 - Present

PEAK6 CAPITAL MANAGEMENT LLC

Office #1: 141 W. Jackson Blvd., Suite 500, Chicago, IL 60604Office #2: 141 W. Jackson Blvd. Suite 500, Chicago, IL 60604
BD
CRD#: 43773
Chicago, IL
Past

January 25, 2011 - June 30, 2014

PEAK6 PERFORMANCE MANAGEMENT LLC

BD
CRD#: 137368
CHICAGO, IL
Past

November 3, 2006 - September 2, 2008

PEAK6 CAPITAL MANAGEMENT LLC

BD
CRD#: 43773
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 8/10/2011
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 44
Date: 11/2/2006
PCX Market Maker Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC

Current Firm

PC
PEAK6 CAPITAL MANAGEMENT LLC
PEAK6 CAPITAL MANAGEMENT LLC

CRD#: 43773 / SEC#: , 8-50422

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
141 W. Jackson Blvd., Suite 500, Chicago, IL 60604
Mailing Address
141 W. Jackson Blvd., Suite 500, Chicago, IL 60604
Phone number
(312) 444-8000
Established
Delaware since 08/05/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PEAK6 CAPITAL MANAGEMENT HOLDINGS LLCOWNER
MILCAREK, STEVEN DOUGLASPRINCIPAL OPERATIONS OFFICER3131320
MULLER, BRIAN JAMESCHIEF RISK OFFICER5875890
PITALE, SUJAI VEERDHAVALCHIEF COMPLIANCE OFFICER5387442
SIMPSON, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER5875785
WARD, JAMES FLANAGANFINOP, PRINCIPAL FINANCIAL OFFICER6258923

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PEAK6 CAPITAL MANAGEMENT LLC

CRD#: 43773Chicago, IL 60604

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